Customers who abuse the system, and harm their brokers. By Mark J. Astarita, Esq. These days, it seems that every major publication, and every television news show, has done, or […]
Arbitration
Arbitrator Refusal to Hear Evidence
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives Refusal to Hear Evidence is Misconduct Only if Prejudice to Fair Hearing Results Woodley […]
Arbitrator Disclosure Report Released
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives Arbitrator Disclosure Report Released SEC Commissioned Independent Study Recommends Against Use of California Disclosure […]
Hearing Hearing
By Mark Astarita, Esq. Past columns have touched on the arbitration hearing itself and have raised the question just what happens during an arbitration hearing. It seems that there are […]
The Case for Flat Fees For Defense In Securities Arbitration
The Defense of Securities Arbitration Claims Can Be Handled on a Flat Fee Basis By Mark J. Astarita, Esq. Every General Counsel at every brokerage firm that has ever been […]
Securities Law – Punitive Damages in Arbitration
Punitive Damage Awards May Increase in Securities Arbitration By Mark J. Astarita, Esq. Today, arbitration is virtually a mandatory process for every broker, firm and customer: Brokers and firms are […]
Customer Claims in Arbitration
I have been representing customers and brokers in securities arbitration matters since 1982. In those 35 years I have handled over 600 securities arbitration cases. Since securities arbitration is such […]
Compulsory Arbitration Waivers
Not just for lawyers, the Securities Law Home Page has information for every participant in the financial markets, including attorneys, paralegals, investors, entreprenuers, finders and others regarding the law of the financial markets and investments, including arbitration, NASD, NYSE and SEC rules and regulations, including those regarding churning, over trading, suitability, fraud, misprepresentation, and markups as well as corporate finance, IPOs, direct public offerings, securities law, securities regulation, commodities and related topics. Sponsored by Mark Astarita, Esq., a New York City securities attorney.
Arbitrators Are Not in Manifest Disregard of the Law Where Questions of Fact Exist
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives Arbitrators are not in manifest disregard of the law, where a question of fact […]
California Legislation on Arbitral Ethics. Arbitration ethics and procedures
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives CALIFORNIA LEGISLATION ON ARBITRAL ETHICS The California Assembly has passed a comprehensive legislative package […]